INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 2, 2023 No. 6496-U

About disclosure of information by professional participants of the security market

This Instruction based on the subitem 6 of Item 23 of Article 4. 1, Item 3.14 of Article 8, of Items 25 and 26 of Article 30, of Items 3 and 31 of Article 42 and Item 16 of article 44 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", parts 3 of article 2.1 of the Federal Law of July 21, 2014 No. 213-FZ "About opening of bank accounts and letters of credit, about the conclusion of bank deposit agreements, and modification of separate legal acts of the Russian Federation" establishes contracts for maintaining the register of owners of securities by the economic societies having strategic importance for defense industry complex and safety of the Russian Federation:

information which professional participants of the security market, structure and amount of such information, procedure and terms of its disclosure shall open;

requirements to the formats of information in electronic form applied by professional participants of the security market in case of disclosure of information;

procedure for disclosure by the professional participant of the security market performing activities for maintaining the register of owners of securities, information on termination of the contract on maintaining the specified register;

procedure for disclosure by the professional participant of the security market performing activities Forex dealer, information on the activities and the list of information opened by it;

structure, procedure and terms of placement by the professional participant of the security market having license for activities on maintaining the register of owners of securities on the website on the Internet of data on the discrepancy to the requirements established by part 1 of article 2.1 of the Federal Law of July 21, 2014 No. 213-FZ "About opening of bank accounts and letters of credit about the conclusion of bank deposit agreements, contracts for maintaining the register of owners of securities by the economic societies having strategic importance for defense industry complex and safety of the Russian Federation and modification of separate legal acts of the Russian Federation".

1. The professional participant of the security market (further - the professional participant) shall open information provided by appendix to this Instruction (further - disclosed information), in structure, amount, procedure and the terms provided by appendix to this Instruction by its placement on the official site on the Internet (further - Internet network) on which services of the professional participant are offered (further - the official site), with observance of provisions of Items 2 - 15 these Instructions.

In the presence he shall place disclosed information in structure, amount, procedure with the professional participant of several official sites and the terms provided by appendix to this Instruction on each of them with observance of provisions of Items 2 - 15 these Instructions.

The professional participant shall place the reference to the official site on the main (initial) page of the website in Internet network on which services of the professional participant are not offered (in the presence of such website).

The professional participant performing activities for maintaining the register of owners of securities shall open information on the termination of the contract on maintaining the specified register according to the procedure provided by columns 3 - the 5th lines 33.11 appendices to this Instruction, with observance of provisions of Items 2 - 15 these Instructions.

The professional participant performing activities Forex dealer shall open information on the activities according to the list and according to the procedure, provided by columns 2 - 5 lines 1 - the 29th appendices to this Instruction, with observance of provisions of Items 2 - 15 these Instructions.

The professional participant having license for activities on maintaining the register of owners of securities shall post on the official site data on the discrepancy to the requirements established by part 1 of article 2.1 of the Federal Law of July 21, 2014 No. 213-FZ "About opening of bank accounts and letters of credit about the conclusion of bank deposit agreements, contracts for maintaining the register of owners of securities by the economic societies having strategic importance for defense industry complex and safety of the Russian Federation and modification of separate legal acts of the Russian Federation" (further - the Federal Law No. 213-FZ), in structure, procedure and the terms provided by columns 2 - the 5th lines 33.10 appendices to this Instruction, with observance of provisions of Items 2 - 15 these Instructions.

2. The professional participant shall take the measures directed to provision of the round-the-clock access to disclosed information to the unrestricted group of people, except for the periods of carrying out scheduled maintenance during which the official site is unavailable to visit.

Access to disclosed information shall not be caused by the requirement of registration of users of the official site or provision of personal data by them, and also collection of payment and other restrictions. Disclosed information shall not be ciphered or protected from access by the means limiting access to it of the unrestricted group of people.

In case of the technical and other reasons interfering access for the unrestricted group of people to disclosed information, the professional participant shall take the measures directed to elimination of the specified reasons and renewal of access to disclosed information.

When carrying out scheduled maintenance on the official site access for the unrestricted group of people to disclosed information shall not be limited more than at one o'clock once a day or more than at five o'clock once a month.

3. The professional participant for the purposes of placement of disclosed information on the main (initial) page of the official site at the choice places disclosed information and (or) the reference to the section (page) of the official site in which (on which) disclosed information is posted provided that this reference specifies content (type, nature) information opened in the Section (on the page) the official site, transition to which (which) he is performed according to this reference and the font size of this reference is at least the greatest of the sizes of fonts of the references to other Sections (pages) of the official site placed on the main (initial) page of the official site.

In case of placement of disclosed information in the Section (on the page) the official site, transition to which (which) it is performed according to the specified reference the font used by the professional participant shall be at least average from the sizes of the fonts used on the main (initial) page of the official site.

4. The professional participant shall place disclosed information in Russian with indication of values of special terms (in case of their availability) if they are not determined by regulatory legal acts of the Russian Federation and regulations of the Bank of Russia.

5. The professional participant shall place disclosed information in the form of electronic documents in the form of files in one of the following formats at the choice: *.doc, *.docx, *.rtf, *.xls, *.xlsx, *.pdf providing possibility of preserving disclosed information on technical means and allowing after preserving possibility of search and copying of any fragment of the text means for viewing (further - context search).

If the professional participant is not author of disclosed information in the form of electronic documents and at its order there is no disclosed information in the form of the files allowing after their preserving on technical means possibility of context search, the professional participant shall place disclosed information in the form of electronic documents in the form of files in the *.pdf format (without possibility of context search).

The professional participant according to the decision also places disclosed information in the form of electronic documents in the form of the files having other formats in addition to specified in paragraph one of this Item, determined by the professional participant independently.

6. The professional participant shall place disclosed information in chronological procedure, starting with information with the latest date of placement, and also specify date and time of placement of disclosed information and if disclosed information lost relevance, in addition to specify start date and end date of term of its relevance.

7. In case of placement of disclosed information on the official site the professional participant shall create in the automatic mode the electronic database containing data on placement of disclosed information on the official site, introduction in it of changes and the termination of access to it with indication of time and date of placement of disclosed information on the official site, introduction in it of changes and the termination of access to it and also to store containing in the specified database of the data throughout the term provided by the column 5 of appendix to this Instruction during which the professional participant provides open entry to disclosed information, and at least five years from the date of the termination of such access.

8. Throughout the term provided by the column 5 of appendix to this Instruction during which the professional participant provides open entry to the disclosed information posted on the official site and at least five years from the date of the termination of such access the professional participant shall store data (documents) confirming reliability of disclosed information.

9. Disclosed information shall not contain:

the false, inexact, incomplete, misleading information;

information concerning which the professional participant has no data (documents) confirming its reliability;

information containing guarantees or promises of future efficiency of activities of the professional participant or future profitability of financial instruments including based on results of activities of the professional participant or profitability of financial instruments in the past if the specified efficiency of activities of the professional participant or profitability of financial instruments cannot be determined at the time of the conclusion by the professional participant with the client of the service provision agreement of the professional participant.

10. The professional participant in case of detection (identification) of the false, inexact, incomplete and (or) misleading information by it in disclosed information in time no later than one working day from the date of detection (identification) of such data shall post the changed (corrected) disclosed information which shall contain on the official site:

specifying on the fact that disclosed information is placed in connection with its change (adjustment);

the reference to disclosed information which changes it (is adjusted);

the description of the changes made to disclosed information and the reasons (circumstance) which formed the basis for their introduction.

11. If the professional participant opens information on the extent of future profitability of financial instruments and (or) future profitability from rendering services of the professional participant in the securities management (except for information on the income which obligation of payment is provided by the decision on release or additional release of issued securities, rules of trust management of mutual investment funds or rules of trust management of the mortgage covering, the document constituted according to the personal law of the foreign issuer (the foreign organization obliged on foreign financial instruments) and containing the description of the rights granted (fixed, certified) the foreign financial instruments allowed to the address in the territory of the Russian Federation), such information shall include:

specifying on the probability of achievement of future profitability of financial instruments expressed in numerical or percentage value and (or) future profitability from rendering services of the professional participant in the securities management, and also the description of possible realization of the risks connected with investment into financial instruments;

the description of the mechanism of calculation of future profitability of financial instruments and (or) future profitability from rendering services of the professional participant in the securities management and calculation of the specified dokhodnost;

specifying on the fact that future profitability of financial instruments and (or) future profitability are not guaranteed against rendering services of the professional participant in the securities management by the state or other persons if the specified guarantees are absent, and the actual profitability of financial instruments and (or) the actual profitability from rendering services of the professional participant in the securities management can differ from future profitability specified in calculations.

12. Professional participants, being credit institutions, shall place disclosed information in the part which is not opened by them according to article 8 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) (further - the Federal Law "About Banks and Banking Activity").

In case of disclosure of information by the professional participant, being credit institution, according to this Instruction separately from information which is subject to disclosure according to article 8 of the Federal law "About Banks and Banking Activity", such professional participant shall place on the main (initial) page of the official site the reference to the website (the Section of the website) in Internet network (the Section of the official site) on which information is opened by the professional participant according to article 8 of the Federal law "About Banks and Banking Activity".

13. The professional participants who are issuers of issued securities shall place disclosed information in the part which is not opened by them according to the Provision of the Bank of Russia of March 27, 2020 No. 714-P "About disclosure of information by issuers of issued securities" <1> (further - the Provision of the Bank of Russia No. 714-P).

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<1> It is registered by the Ministry of Justice of the Russian Federation on April 24, 2020, registration No. 58203, with the changes made by the Instruction of the Bank of Russia of September 30, 2022 No. 6283-U (it is registered by the Ministry of Justice of the Russian Federation on February 9, 2023, registration No. 72296).

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